ANTHONY LUU

Mobile: 908-487-3200 Anthony.lu99@ymail.com

Objective: Seeking a challenging and rewarding position to advance my professional career.

Selected Project Achievements:

Investment Strategy-Successfully managed to launch the Whole Loan-yield enhancement strategy that resulted in $4 billion AUM for the Fixed Income group

Bloomberg AIM Implementation-Installed the Bloomberg AIM Trading Platform, and the CRD Trading Platform

Moody’s MPA Implementation-Managed the Enterprise Credit Risk System Installation with Moody’s Risk Module are based on BASEL and CCAR compliance with scenario analysis on Macro Market and Counter party exposure risk

Agriculture Vendor Compliance System-Started and completed the in-house built Agriculture Management System for Agriculture and Timber Investments

Private Equities and Private Debts- Installed Vendor system E-Front to house both as portfolio systems

Commercial Mortgages-Participated the CM conversion from Summit to vendor system Provenir

Reporting Projects- Participated in Reporting projects with Oracle OBI and Tableau systems

FAS 157 Valuation Project- Managed the FAS 157 valuation project

Brand Website-successfully managed the fully functional Brand website launch for the Unilever account

Digital Transformation-Fully understand and achieved the user journey and digital transformation projects for selected clients

Professional Summary

Motivated and dedicated senior-level Investment Professional with the experience and demonstrated accomplishments developing corporate growth, stability, and financial performance. Skilled analyst with strong organizational and communication abilities with proven leadership qualities. Broad-based understanding of all phases of Fixed Income and Equities Portfolio Administration, Private Equities, Private Debts, Alternative Investments, Information System, and Staff supervision and talent management. Proficient in managing operational risks controls using staffing and technology efficiencies. Highly organized with the ability to manage multiple projects and meet deadlines. A strong work ethic combined with a commitment to excellence in all tasks undertaken. Thrive in an intensely competitive, dynamic environment.

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Professional Experience:

Sapient Global Markets 11/2015-7/2016

Manager, Global Markets

● Defined the scope of the project in collaboration with the stakeholders.

● Created a detailed work plan which identifies and sequences the activities needed to successfully complete the project

● Executed the project according to the project plan● Monitored the progress of the project and make adjustments as necessary to ensure the successful completion

of the project● Established a communication schedule to update stakeholders on the progress of the project● Ensure that project deliverables were on time, within budget and the required level of quality● Evaluated the outcomes of the project as established during the planning phase● Served as Business Analyst capacity for digital transformation project delivery team● Managed and lead on the Enterprise Business Strategy project for selected clients● Served as Program Manager on the “brand” websites project for Unilever Account● Created and presented pitch deck for Global Markets clients● Plan and executed the BASEL FRTB rules implementation for clients● Facilitated FUSION sessions with clients on delivery of multiple projects● Worked as Lead Business Analyst capacity to implement the Fiduciary duty rules for major financial clients

Modis 1/2015-11/2015

Project Manager/Lead Business Analyst

Consultant- Lincoln Financial Group

● Set project timeline, resource allocation, milestones● Defined the scope of the project in collaboration with the stakeholders.● Created a detailed work plan which identifies and sequences the activities needed to successfully complete

the project● Executed the project according to the project plan● Monitored the progress of the project and make adjustments as necessary to ensure the successful completion

of the project● Established a communication schedule to update stakeholders on the progress of the project● Ensure that project deliverables were on time, within budget and the required level of quality● Evaluated the outcomes of the project as established during the planning phase● Lead in discussion on project scope, benefits, and risks● Determines and analyzes current state processes and system landscapes and architecture● Elicit requirements and operational objectives by using interviews, document analysis, requirements

workshops, business process descriptions, use cases, scenarios, business analysis, task and workflow analysis● Proactively communicate and collaborate with external and internal customers to analyze information needs

and requirements● Interface with business owners(Front Office, Back Office and Investment Accounting) to understand their

needs and secure appropriate project buy-in/sign-off throughout Life Cycle● Facilitate meetings with business users, IT team and vendors on issues related to project deliverables● Serve as the conduit between the customer community and the software development team throughout the

project life cycle● Identify opportunities for improving business processes through information systems and/or non-system

driver changes● Translating and simplifying business requirement to drive the design or review of test cases● Lead in discussion and implement process re-engineering based on project scope

TIAA-CREF 3/2012-10/2014

Lead Business Analyst/Project Manager

● Managed multiple projects for the Public Fixed Income Investment group and Private/Alternatives Investment

Group● Defined the scope of the project in collaboration with the stakeholders.● Created a detailed work plan which identifies and sequences the activities needed to successfully complete

the project● Executed the project according to the project plan● Monitored the progress of the project and make adjustments as necessary to ensure the successful completion

of the project● Established a communication schedule to update stakeholders on the progress of the project● Ensure that project deliverables were on time, within budget and the required level of quality● Evaluated the outcomes of the project as established during the planning phase● Managed the implementation of Bloomberg that replaced the CRD trading platform● Managed and Worked with Business Operations to document Security description reference data and pricing

reference data as Bloomberg AIM electronic trading platform requirements.● Elicit requirements using interviews, document analysis, requirements workshops, use cases, scenarios and

workflow analysis ● Worked with the business to understand new business requirements which can be interpreted by a technical

team of developers and provide assistance/guidance throughout the delivery period.● Developed test plans, test strategy and test cases; assist in helping other BA’s and QA’s (onsite and offshore)

to performed system integration testing and User Acceptance testing● Managed resource allocation across multiple projects including tracking resource bandwidth and forecasting

future availability for scheduling new projects.● Ensure integrity and delivery of multiple projects with respect to time, budget, scope, change, risk and

resources.● Partnered with business group and project manager to monitor the project plan to ensure successful

completion of the plan activities and delivery of the project schedule. ● Excellent level of knowledge & experience using both Waterfall & Agile development methodology.● Wrote Project related documents such as project charter, Business Requirements and milestones schedule.● Created 4 Block report for Senior Management Reporting quarterly basis.● Served as Operational and Risk subject matter expert to focus on external clients need on addressing data

quality issues.

KYC Technologies Consulting, Inc. 3/2011-3/2012

Senior Business Analyst/Project Manager

● Managed the analytical aspect of client relationships to provide marketing, product and strategic analysis and reporting.

● Partnered with Account Management to work with their client contacts ● Analyzed data from various sources such as the Enterprise Data Warehouse and Operational Data Stores.● Worked closely with product development team to continual development and enhancement of product

platform.● Served as Operational and Risk subject matter expert to focus on external clients need on addressing data

quality issues.● Focused on business requirements for Charles River, Bloomberg, and Data hubs implementation.● Synthesized analysis findings and communicating to financial institution partners in order to drive further

understanding of the consumer lifecycle and growth of their customer base.● Set and tracked project milestones for all participated projects.● Wrote business requirements documents and solicit buy-in from business users and approve from

management● Wrote Project Charter documents and drafted process flows for front office and back office for trading life

cycle and Reference data requirements for each asset classes.● Projects included Central data hub system, electronic trading platform and reporting(Business Intelligence)

platform.

AIG Investments 1/2007-1/2011BA/Project Manager

● Participated in all activities related to achieving SOX and SAS 70 requirements to enable internal and external auditors to form an opinion on the regions internal controls.

● Responsible for documentation of key valuation processes (including risks and controls) Perform controls evaluation and assessment.

● Managed appropriate data governance activities within Data governance committee to access operational risk profile and reporting.

● Supported appropriate documentation and analysis of operational risk scenario; point of contact for events escalation to Enterprise Risk Committee.

● Identified, created and monitored appropriate key Risk Indicators to proactively identify exposures or control weakness.

● Examined potential risk assessments based on Corporate Enterprise standard profile to reduce procedural weaknesses through measurable action plans.

● Defined the scope of the project in collaboration with the stakeholders.● Created a detailed work plan which identifies and sequences the activities needed to successfully complete

the project● Executed the project according to the project plan● Monitored the progress of the project and make adjustments as necessary to ensure the successful completion

of the project● Established a communication schedule to update stakeholders on the progress of the project● Ensure that project deliverables were on time, within budget and the required level of quality● Evaluated the outcomes of the project as established during the planning phase●● Performed extensive data integrity analysis for data that feeds into the valuation engine.● Maintained and updated documentation for valuation models whenever new rules applied.● Participated in Quarterly Pricing Committee meeting to resolve on illiquid securities valuation.● Prepared written due diligence valuation recommendations for Pricing Committee review.● Streamlined the Pricing processes to mitigate operational risk and reduce costs.● Collaborated with technology staff to translate business requirements for departmental projects.● Provided guidance during technology testing and implementation for departmental projects.

Deutsche Asset Management 8/2005-1/2007Assistant Vice President, Operations and Risk Management

● Elicit requirements using interviews, document analysis, requirements workshops, use cases, scenarios and workflow analysis

● Worked with the business to understand new business requirements which can be interpreted by a technical team of developers and provide assistance/guidance throughout the delivery period.

● Developed test plans, test strategy and test cases; assist in helping other BA’s and QA’s (onsite and offshore) to performed system integration testing and User Acceptance testing

● Mitigated identified operational control weaknesses by creating an appropriate action plans.● Participated in implementation and development of Eagle Pace system; ensuring the integration of all

reference data warehousing and control reporting processes.● Involved in the UAT and QA testing on Eagle PACE and CRTS process flow in risk perspective.● Investigated data discrepancies within Eagle PACE and CRTS QA environment.● Set up pre-trade compliance rules and resolved data issues within CRTS environment.● Supported certain risk reporting requirements between the Operations department and the Client Service

team.● Coordinated and tracked the execution of enterprise operational risk efficiency initiatives.● Developed performance metrics, operational plans and process improvements including benchmarking.● Monitored implementation of established Process work flow between Eagle Pace and CRTS implementation.● Re-designed processes and procedures within the Reference Data group to achieve more efficient results.

Guardian Investment Group 5/2001-8/2005Assistant Manager, Portfolio Administration/Reference Data group

● Co-managed the Fixed Income and Equities Operation unit.● Created and managed the Security Reference Data integrity operation unit.● Instituted the proprietary Data warehousing with Bloomberg reference data stream.● Managed the compliance oversight for various accounts through Bloomberg Compliance module.● Initiated the straight-through-processing in Settlement and reconciliation operations.● Created a four eye review on discrepancies on monthly mortgage factor paydown.● Participated in Strategic planning projects in accordance with company strategy development.● Developed appropriate analytical tools, methods and training to assure effective processes procedures.

Neuberger Berman, LLP 8/1999-5/2001Portfolio Administrator

● Managed accurate cash positions in all active accounts.● Reconciled daily on cash, equity, fixed income, and index futures trades position.● Liaised with Senior Portfolio Manager, Trading, Legal/Compliance, Sales/marketing.● Performed daily trade settlements with custodian banks and brokers.● Processed monthly Mortgage factor pay down. ● Processed corporate actions and prepared client statements monthly.● Participated operational projects for centralized integration initiatives.

Education Baruch College PresentProject Management Certificate program

Rutgers University, Undergraduate School of Management 1999

Bachelor of Science GPA:3.5Major: Finance Minor: Economics

Professional Certification CFA Candidate Level II

Language: Cantonese, Mandarin

Technical Skills Proficient in Charles River Trading System, MarketAxess, Eagle Pace, E-front, PIMS, PAM, Portia, Barclays POINT, Yield Book, SQL, Bloomberg AIM, Bloomberg GNET, CAMRA, Trade Web, FX-match, Merrin Trading System, Crystal reports and all Microsoft applications.

Business Analysis/Project Management Skills Requirement Analysis & Documentation, Requirement solicitation, Requirement workshop, project planning, project execution, timely and on budget, Vendor workshops/demo session, stakeholder management

System testing skills Create test cases, Smoke Testing, Unit testing, Regression Testing, Functional Testing, Acceptance Testing

References are available upon request